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Identify, measure, and report on compliance risk

Compliance Management

Deliver a holistic, seamless view of compliance by uniting processes in a single location. Develop an effective framework for managing regulatory breaches and control failures.

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Why choose Compliance Management?

Compliance Management, a solution on our Connected Risk platform, enables you to aggregate and streamline your regulatory and compliance programs, and reveals a deeper understanding of your existing and emerging risks. The solution helps harness data to ensure your teams can better manage evolving risk, comply with regulations, and meet reporting requirements.

Integrate information around internal controls, compliance reviews, regulatory exams, policies, and incidents to deliver a holistic and informed view of compliance. In-depth analytic capabilities enable your teams to visualize relevant information, amplifying their focus on value-add assurance activities and strategic decision-making.

Centralize your workflows and processes on a single platform to action items in near real-time, with results that can be re-used for continued monitoring, reviews, and assessments. Ongoing monitoring capabilities can detect inefficiencies or problem areas, helping you identify and initiate changes or remediation as needed.

Features & benefits

What you get with Compliance Management 

Agile modeling capabilities

Adapt data models, workflows, security, notifications, and dashboards to keep pace with changing business needs.

Option to tailor the solution

Adopt out-of-the-box workflows, dashboards, and reporting capabilities to customize features to your own applications.

Policy approval management

Define a policy library and map policies to relevant organizational structures, risks, controls, regulatory exams, and compliance reviews.

Exam and inspection management

Manage regulatory interactions with external governing bodies to track contacts, exams, findings, action plans, and responses.

Link compliance reviews

Link compliance reviews to controls and regulations to capture ratings, issues, and actions in order to create thorough reports.

How it works

Compliance Management in action

Connect the three lines of defense

Harmonize myriad workflows and processes with dynamic interdependencies that are deployed, managed, maintained, and reported in near real-time.

All stakeholders can view ratings, issues, and outcomes simultaneously, supporting the first line of defense with risk assessments and informing the third line of formal reviews. Maintain secure external auditor and regulator access to support independent assurance requirements.

Drive cohesion across the enterprise

Automate activities that increase the efficiency and effectiveness of your compliance programs, enabling a better understanding of changing expectations and more agility when managing varied processes. Data is organized and made available to all stakeholders for a view of risk that facilitates better decision-making. The single system is regularly updated, providing prompts and a user-friendly view, and integrates information on enforcement actions and data from internal and external sources.

Bringing compliance processes together in a centralized location reduces duplication, avoids errors, enables effortless sharing of information, and provides more informed discussions with stakeholders about the regulatory and compliance risks impacting your business.

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All countries (toll free): +1 800 427 7570
Brazil: +55 11 47009629
Argentina: +54 11 53546700
Chile: +56 2 24838932
Mexico: +52 55 80005740
Colombia: +57 1 4419404

Europe, Middle East, Africa
Europe: +442045302020
Africa: +27 11 775 3188
Russia and CIS: +7 495 775 1200
Middle East & North Africa: 800035704182

Asia Pacific (Sub-Regional)
Australia & Pacific Islands:
+612 8066 2494 
China mainland: +86 10 6627 1095
Hong Kong & Macau: +852 3077 5499
India, Bangladesh, Nepal, Maldives & Sri Lanka:
+91 22 6180 7525
Indonesia: +622150960350
Japan: +813 6743 6515
Korea: +822 3478 4303
Malaysia & Brunei: +603 7 724 0502
New Zealand: +64 9913 6203
Philippines: 180 089 094 050 (Globe) or
180 014 410 639 (PLDT)
Singapore and all non-listed ASEAN Countries:
+65 6415 5484
Taiwan: +886 2 7734 4677
Thailand & Laos: +662 844 9576


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